Securities

Our attorneys have handled dozens of securities matters in federal trial and appellate courts, in arbitrations, and in negotiations with state and federal regulators.

We have successfully defended corporate CEOs in federal 10b-5 civil trials, as well as in criminal investigations and prosecutions. Our clients charged with securities fraud have included investment firms, banks, and insurers, and often their officers and directors. In addition to fraud cases, we have defended a major manufacturer alleged to have failed to timely provide registration rights in a corporate acquisition.

Our lawyers have argued appeals of several broker-dealers in the Fourth Circuit, including one resulting in the national precedent regarding the SEC's ability to sanction a party previously punished by the NASD.

We have defended Wall Street stockbrokers in NASD, NYSE and AAA arbitrations pending across North Carolina, as well as in New York and California. Our lawyers are well experienced in removing cases to federal court, and in convincing courts to apply arbitration agreements.

Our lawyers have defended targets of federal grand jury investigations and have represented witnesses testifying before the SEC's regional office. We have also handled investigations and litigations initiated by the North Carolina Secretary of State.

When necessary, we have brought actions under the securities and mail fraud laws to vindicate our clients' rights. When appropriate, these actions have included RICO allegations.